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Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-10-30
TX RA APPROVED_RES 2023-10-30
  • CA RA
    APPROVED
    Since 2023-10-30
  • TX RA
    APPROVED_RES
    Since 2023-10-30

Branch Locations

608 Silver Spur Road Suite 100, Rolling Hills, CA 90274 • United States

Long Beach, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Oppenheimer & Co. Inc. Los Angeles CA 06/2007 10/2023
Rbc Capital Markets, Llc Los Angeles CA 10/2023 Present
City National Bank Los Angeles CA 12/2023 12/2023
City National Bank Los Angeles CA 01/2024 Present
  • 06/2007 → 10/2023
    Los Angeles, CA
  • 10/2023 → Present
    Los Angeles, CA
  • 12/2023 → 12/2023
    City National Bank
    Los Angeles, CA
  • 01/2024 → Present
    City National Bank
    Los Angeles, CA
Previous Registrations
Other Businesses

(1)NAME OF ENTITY: Long Beach Area Council Boy Scouts of America ADDRESS: 401 E. 37th St., Long Beach, CA 90807 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: charitable organization for youth START DATE: 01.01.20 CAPACITY: Board of Directors DUTIES: The board gives guidance on budgets. spending and fundraising activities of the organization. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1 (2)NAME OF ENTITY: YMCA of Greater Long Beach ADDRESS: 3605 Long Beach Blvd. #210, Long Beach, CA 90807 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: charitable organization serving community. START DATE: 01.01.20 CAPACITY: Board of Directors DUTIES: The board gives guidance on investment, spending and fundraising activities of the organization. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1 (3)NAME OF ENTITY: American Gold Star Manor ADDRESS: 3021 N Gold Star Dr., Long Beach, CA 90810 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Operating Foundation serving Gold Star parents and Veterans. START DATE: 01.01.20 CAPACITY: Board of Directors DUTIES: The board gives guidance on budgets, spending and operations. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1 (4) NAME OF ENTITY: Long Beach Community Foundation ADDRESS: 400 Oceangate #800, Long Beach, CA 90802 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: charitable organization serving community CAPACITY: Board of Directors * START DATE: 01/01/2020 DUTIES: board gives guidance on budgets, spending and fundraising activities of the organization HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1 (5) NAME OF ENTITY: Rotary Club of Long Beach ADDRESS: 1126 Queens Hwy. Sylvania Room Long Beach CA 90802 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Other START DATE: Jul 01, 2026 CAPACITY: Board of Directors DUTIES: Assistant to President, assisting communications between President, the Board of Directors and the ~240 club members. Giving advice of a non-financial nature to the President. HOURS DEVOTED PER MONTH: 4 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-10-23
  • S66 Uniform Combined State Law Examination
    2007-10-23

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